SEC Form 4 · accession 0000091142-16-000113
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce M Smith
Director
Period of report
Jul 11, 2016
Accepted (ET)
Jul 13, 2016 · 3:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091142
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 7,946 | D | ||
| Common StockF2 | holding | — | — | — | 1,200 | I | In trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F5,F4 | $90.265 | Jul 11, 2016 | A | 56 | A | — | — | Common Stock | 56 | 57,106 | D |
| Class A Common StockF2,F6,F7,F8 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 226,982 | I |
Explanation of responses
- F1Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan.
- F2The reporting person beneficially owns these shares as settlor of a revocable family trust.
- F3Payment of additional retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the average of the high and low price of Common Stock on July 11, 2016.
- F4The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
- F5The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 172 units of Restricted Stock Units.
- F61 for 1.
- F7Convertible at any time into Common Stock.
- F8None.